Wayne Stephenson Control Manager
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Wayne Stephenson Control Manager Email & Phone Number

Associate Principal Risk Specialist at FINRA
Location: Brooklyn, New York, United States 5 work roles
1 work email found @jpmchase.com LinkedIn matched
✓ Verified May 2026 3 data sources Profile completeness 86%

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Work email w****@jpmchase.com
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Current company
FINRA
Role
Associate Principal Risk Specialist
Location
Brooklyn, New York, United States
Company size
286575 employees

Who is Wayne Stephenson Control Manager? Overview

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Wayne Stephenson Control Manager is listed as Associate Principal Risk Specialist at FINRA, a company with 286575 employees, based in Brooklyn, New York, United States. AeroLeads shows a work email signal at jpmchase.com and a matched LinkedIn profile for Wayne Stephenson Control Manager.

Wayne Stephenson Control Manager previously worked as Sr. Associate, Office of Legal Obligations ★ Control Officer, M&IS Operations at Jpmorgan Chase & Co. and AVP, Fixed Income Trading Assistant ★ Supporting underwriting for $12.5B in municipal securities at Citi Global Markets, Inc..

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Email format at FINRA

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*@jpmchase.com
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About Wayne Stephenson Control Manager

SENIOR FINANCIAL ANALYST & MANAGER, I am an accomplished financial analyst with proven experience overseeing quality assurance and regulatory compliance within the financial services industry.Throughout my career as both an individual contributor and manager, I have supported financial reporting, compliance, middle office, and trading desk operations. Peers respect my ability to shape departmental strategy, as well as provide hands-on leadership, coaching, and guidance to cross-functional teams throughout implementation and adoption. My most recent success can be seen within the Office of Legal Obligations of JPMorgan Chase, where I serve as an SME and play a key role in streamlining legal procedure requirements worldwide.✔ Manage the SOP process and implement changes to meet constantly changing legal requirements, reducing potential regulatory fines.✔ Saved on incurring late fee charges by implementing a new issue deal and remarketing due diligence checklist, increasing firm submission accuracy to 100%.✔ Lead cross-functional teams through procedure gap analysis within the CIB Office of Legal Obligations, and distributed recommendations to the M&IS Operations Central team.✔ Strong understanding of trading desk operations, including having managed processing and analysis of both US and European customer retail stock orders on multiple trading systems.

Listed skills include Trade Desk And Middle Office, Policy And Regulatory Compliance, Interviewing, Sop And Process Development, and 18 others.

Current workplace

Wayne Stephenson Control Manager's current company

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FINRA
Finra
Associate Principal Risk Specialist
United States
Website
jpmorganchase.com
Employees
286575
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5 roles

Wayne Stephenson Control Manager work experience

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Associate Principal Risk Specialist

Finra

United States

Sr. Associate, Office Of Legal Obligations ★ Control Officer, M&Is Operations

Current
Jpmorgan Chase & Co.

Brooklyn, New York

I joined JPMorgan Chase in 2017 to serve in a dual capacity as Control Officer of M&IS Operations, as well as a Senior Associate within the Office of Legal Obligations.Over the past two years, I have served as an SME on all legal processes and tool-related topics, as well as on due diligence policies and documentation in the firm-wide database.SELECTED.

Nov 2017 - Present

Avp, Fixed Income Trading Assistant ★ Supporting Underwriting For $12.5B In Municipal Securities

Citi Global Markets, Inc.

New York, NY

I was promoted to AVP and Fixed Income Trading Assistant in 2007, where I led a team of 3 direct reports and held complete accountability for CRM database administration, document retention and review, reporting, and data analysis for $12.5B in municipal securities.SELECTED HIGHLIGHTS & ACHIEVEMENTS✔ Implemented standard business procedures for middle and.

Jan 2007 - Jun 2017

Trading Assistant ★ Ensuring Accuracy And Compliance For Municipal Trading And Sales Desk Activity

Citi

New York, NY

From 2004 to 2007 I supported municipal trading and sales desk activity to ensure compliance. In this role, I held complete accountability for tracking all check and controls, which ensured accuracy in high-volume accounts and settlement platforms.SELECTED HIGHLIGHTS & ACHIEVEMENTS✔ Led efforts to determine if the bank or accounting was holding the correct.

Jan 2004 - Jan 2007

Middle Office Associate ★ Short-Term Pricing For Various Products, And Pricing Platform Management

Citi

New York, NY

In 2000, I joined Citi Global Markets as a Middle Office Associate, where I managed short-term pricing for various products, including variable rate demand notes, commercial paper, repurchase agreements, Fed funds, and auction-rate securities.SELECTED HIGHLIGHTS & ACHIEVEMENTS✔ Top performer receiving a promotion to Trading Assistant in 2004.✔ Partnered.

Jul 2000 - Jan 2004
Team & coworkers

Colleagues at FINRA

Other employees you can reach at jpmorganchase.com. View company contacts for 286575 employees →

MP Mary Phelps Mary Phelps Colleague at Finra Plano, Texas, United States, United States View → KB Kenneth Brock Kenneth Brock Colleague at Finra Houston, Texas, United States, United States View → LH Luis Ho Luis Ho Colleague at Finra Brooklyn, New York, United States, United States View → FO Francisco O. Francisco O. Colleague at Finra Phoenix, Arizona, United States, United States View → TK Tom Kaiser Tom Kaiser Colleague at Finra Elmhurst, Illinois, United States, United States View → TN Tsuyoshi Nakai Tsuyoshi Nakai Colleague at Finra Greater Tokyo Area, Japan View → TT Tiffany Teen Tiffany Teen Colleague at Finra Austin, Texas, United States, United States View → VP Veronica Perez Veronica Perez Colleague at Finra Chicago, Illinois, United States, United States View → AG Andrew Gomez Andrew Gomez Colleague at Finra Austin, Texas, United States, United States View → SS Sneha S Sneha S Colleague at Finra Bengaluru, Karnataka, India, India View →
FAQ

Frequently asked questions about Wayne Stephenson Control Manager

Quick answers generated from the profile data available on this page.

What company does Wayne Stephenson Control Manager work for?

Wayne Stephenson Control Manager works for FINRA.

What is Wayne Stephenson Control Manager's role at FINRA?

Wayne Stephenson Control Manager is listed as Associate Principal Risk Specialist at FINRA.

What is Wayne Stephenson Control Manager's email address?

AeroLeads has found 1 work email signal at @jpmchase.com for Wayne Stephenson Control Manager at FINRA.

Where is Wayne Stephenson Control Manager based?

Wayne Stephenson Control Manager is based in Brooklyn, New York, United States while working with FINRA.

What companies has Wayne Stephenson Control Manager worked for?

Wayne Stephenson Control Manager has worked for Finra, Jpmorgan Chase & Co., Citi Global Markets, Inc., and Citi.

Who are Wayne Stephenson Control Manager's colleagues at FINRA?

Wayne Stephenson Control Manager's colleagues at FINRA include Mary Phelps, Kenneth Brock, Luis Ho, Francisco O., and Tom Kaiser.

How can I contact Wayne Stephenson Control Manager?

You can use AeroLeads to view verified contact signals for Wayne Stephenson Control Manager at FINRA, including work email, phone, and LinkedIn data when available.

What skills is Wayne Stephenson Control Manager known for?

Wayne Stephenson Control Manager is listed with skills including Trade Desk And Middle Office, Policy And Regulatory Compliance, Interviewing, Sop And Process Development, Microsoft Powerpoint, Data Analysis, Capital Markets, and Spreadsheets.

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